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January 2018


January 2018

FINRA Seeks to Tighten Rules for Expungement of Customer Dispute Information

 

By: Theodore C. Peters

 

What once was a relatively simple process of removing outdated or false information on a registered person’s CRD (Central Registration Depository) record has become increasingly complicated (and expensive) over the years.  Bit by bit, securities regulators have tightened the rules and requirements pertaining to expungement of information relating to customer disputes and claims asserted against registered individuals.  If the Financial Industry Regulatory Authority (FINRA) has its way, the road to expungement may become even steeper, resulting in fewer successful challenges.  With investors wanting full disclosure by their brokers on the one hand, and securities professionals understandably seeking to keep their CRDs clear from extraneous and even incorrect information on the other, FINRA finds itself trying to find a happy medium that allows for both transparency and a fair procedure for securities professionals.  Striking an equitable balance is a laudable goal, but can it be done?

 

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Gone In A Flash: NLRB Overrules Employee Handbook Standard

By: William E. Collins, Jr.

On December 14, 2017, in a case involving the Boeing Company, the National Labor Relations Board (“NLRB”) overruled the Lutheran Heritage workplace policy standard that stood for over 13 years, and ushered in a new standard for workplace policies. This decision is a significant shift in labor policy, leaving many hopeful that the new standard will provide consistency and give employers a clear picture of compliance.

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Are E-mails HOA Property?

By: Michael Kouskoutis

Despite the ubiquitous use of e-mail, Florida law provides no clear answer on the extent to which HOA members can access e-mail communications of the association’s board members.  While Florida Statutes permit broad access to “official records of the association,” including “all written records . . . which are related to the operation of the association,” an arbitrator in Humphrey v. Carriage Park Condominium Association, Inc., Case No. 2008-04-0230, ruled that electronic communications existing on the personal computers of individual directors are not official records of the association, even if they relate to the operation of the association.

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Will the Las Vegas Tragedy Change the Hospitality Industry?

By: America Vidana

Hundreds of victims of the October 1, 2017 mass shooting in Las Vegas have filed several suits in both California and Nevada courts against Mandalay Bay, MGM Resorts and LiveNation. The victims accused the hotel operator, MGM Resorts International, and its subsidiary, Mandalay Corp, which owns the hotel, of failing to properly monitor the shooter’s activities, train staff members and employ adequate security measures.

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About Freeman Mathis & Gary, LLP

Freeman Mathis & Gary, LLP is a leading national litigation firm, serving clients through its practice groups in CGL and Business Liability, Commercial and Complex Litigation, Construction and Design Law, Financial Services and Transactions, Government Law, Government Relations, Insurance Coverage and Bad Faith, Labor and Employment Law, and Professional Liability. With offices in Georgia, California, Pennsylvania, New Jersey, New York, North Carolina and Florida, FMG attorneys serve as trusted counsel to corporations and governments throughout the country, providing practical, efficient, and cost-effective solutions for legal issues. For more information about FMG, visit www.fmglaw.com.




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